Document library
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- Author:
- Institute of Actuaries, DPB Committee
- Source:
- Compliance Bulletin 8
Taking a complaint about a licensed firm to the Institute of Actuaries
This paper explains how the Institute of Actuaries deal with a complaint against a firm licensed by it, at the time the incident occurred, in connection with certain types of investment business under the Financial Services and Markets Act 2000. It ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - money laundering, December 2003
Anti-money laundering requirements for DPB licensed firms. Revised Appendix 3 Attachment to DPB Compliance Bulletin 8, December 2003 Revision of Appendix 3 to the paper on Anti-money laundering requirements for DPB licensed firms, first issued with ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8, December 2003
Contents: Extending the Part XX regime for exempt professional firms carrying on insurance mediation and mortgage activities\; Anti-money laundering requirements for licensed firms\; Pension transfers from occupational pension schemes in wind-up\; ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - FSA flyer, December 2003
Attachment to DPB Compliance Bulletin 8. FSA flyer advertising the application pack for persons applying for authorisation to carry out mortgage and general insurance business You can apply for a mortgage and general insurance authorisation Application ... read more >>
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- Author:
- Disciplinary Review Working Party
Institute of Actuaries disciplinary scheme (effective 1 January 2004)
Institute Disciplinary Scheme 2004. This disciplinary scheme replaces the 1995 scheme. It is a mirror scheme to that of the Faculty so that, for the first time, members of both bodies face the same disciplinary processes. Though for legal reasons the ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - training, December 2003
Training and competence and conduct of business in authorised professional firms. Letter from the FSA dated 28 November 2003 Page 1 of 5 Direct line: 020 7066 5260 Local fax: 020 7066 9765 Email: chris.rexworthy@fsa.gov.uk 28 ... read more >>
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- Author:
- Chris O'Brien
- Source:
- Life Convention 2003
Is the UK life assurance market competitive? Evidence from companies' charges (Slides)
Regulation ab cd Is the UK life assurance market competitive? Evidence from companies’ charges 2003 Life Convention, 9-11 November Hilton Birmingham Metropole Hotel Chris O’Brien Centre for Risk and Insurance Studies, Nottingham University Business ... read more >>
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- Author:
- John Jenkins; Derek Smith
- Source:
- Life Convention 2003
Working with your auditors under the new regulations (Handout)
Accounting and auditing 1 Working with your auditors under the new regulations John Jenkins Derek Smith kpmg Overview ? Auditing asset shares ? Auditing realistic valuations (Peak 2) ? Use of dry runs ? Verifying compliance with PPFM Auditing asset ... read more >>
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- Author:
- Paul Turnbull
- Source:
- Life Convention 2003
Tax management and current issues (Handout)
Life Tax Tax management and current issues Paul Turnbull paul.turnbull@eu.watsonwyatt.com 2003 Life Convention Birmingham, 9-11 November 2 Agenda ? Overview of life tax ? Myth of the shareholders marginal tax rate ? NC1 basis of tax and XSE ? ... read more >>
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- Author:
- Ron Wheatcroft
- Source:
- Life Convention 2003
What impact will polarisation and extended regulation post-Sandler have on the design and distribution of protection products? (Handout)
Regulation 1 What impact will Polarisation and Extended Regulation Post-Sandler have on the design and distribution of protection products? Ron Wheatcroft Technical Manager Swiss Re Life & Health Slide 2 Ron Wheatcroft Technical Manager Swiss Re ... read more >>
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- Author:
- Brian Edey
- Source:
- Life Convention 2003
Profit emergence under international accounting standards (Slides)
� Er nst & Y ou ng LL P. Al l R igh ts Re ser ve d. ab cd Pr of it Em er ge nc e un de r I AS 20 03 L ife C on ve nt io n 9- 11 N ov em be r Br ia n Ed ey H ilt on B irm in gh am M et ro po le H ot el � Er nst & Y ou ng LL P. ... read more >>
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- Author:
- Martin Muir; Tim Wilkins; Gary Finkelstein
- Source:
- Life Convention 2003
Derivatives and regulatory capital (handout)
Derivatives and Regulatory Capital Derivatives Working Party 11 November 2003 Martin Muir, Tim Wilkins, Gary Finkelstein 2003 Life Convention Birmingham, 9-11 November 2 Derivatives Working Party ? Terms of reference – “To consider examples where life ... read more >>
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- Author:
- Institute of Actuaries Designated Professional Body Committee
Compliance Bulletin 8 - pension transfers, December 2003
Pension transfers from occupational pension schemes in wind-up. Letter from the FSA, dated 11 November 2003 Direct line: 0207 066 5260 Local fax: 0207 066 5261 Email: chris.rexworthy@fsa.gov.uk ADDRESS November 2003 Our Ref: ... read more >>